U.S.

- India Joint
Center for Building Energy Research and
Development (CBERD)


Enabling Efficient, Responsive, and Resilient Buildings:
Collaboration Between the United States and India


Chandrayee Basu and Girish Ghatikar
Lawrence Berkeley National Laboratory
Prateek Bansal
Johns Hopkins University






Presented at the IEEE Great Lakes Symposium on
Smart Grid and the New Energy Economy 2012, Chicago, IL
September 23-25, 2013
and Published in the Proceedings

March 2014


b



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i
ACKNOWLEDGEMENTS
The U.S. Department of Energy (DOE) and the Department of Science and Technology (DST), Government of India (GOI) provided
joint funding for work under the U.S.India Partnership to Advance Clean Energy Research (PACE-R) programs U.S.India Joint
Center for Building Energy Research and Development (CBERD) project. The Assistant Secretary for Energy Efficiency and
Renewable Energy, Office of Building Technology, State and Community Programs, of the U.S. DOE under Contract No. DE-AC02-
05CH11231 supports the U.S. CBERD activity. The DST, GOI, administered by Indo-U.S. Science and Technology Forum, supports
the Indian CBERD activity.

The authors would like to acknowledge the support from the U.S. DOE team and the U.S.India Joint Center for Buildings Energy
Research and Development partners.

DISCLAIMER
The U.S. contributions in this document were prepared as an account of work sponsored by the United States Government. While this document is
believed to contain correct information, neither the United States Government nor any agency thereof, nor The Regents of the University of
California, nor any of their employees, makes any warranty, express or implied, or assumes any legal responsibility for the accuracy, completeness,
or usefulness of any information, apparatus, product, or process disclosed, or represents that its use would not infringe privately owned rights.
Reference herein to any specific commercial product, process, or service by its trade name, trademark, manufacturer, or otherwise, does not
necessarily constitute or imply its endorsement, recommendation, or favoring by the United States Government or any agency thereof, or The
Regents of the University of California. The views and opinions of authors expressed herein do not necessarily state or reflect those of the United
States Government or any agency thereof, or The Regents of the University of California.
Ernest Orlando Lawrence Berkeley National Laboratory is an equal opportunity employer.
The work described in this report was funded by the U.S. Department of Energys Office of Energy Efficiency and Renewable Energy (EERE) under
Contract No. DE-AC02-05CH11231.

















Please cite this document as: C. Basu, Ghatikar G, and Bansal P; Enabling Efficient, Responsive, and Resilient Buildings: A
Collaboration Between the United States and India, Presented and published at the IEEE Proceedings on Smart Grid and the New
Energy Economy, Chicago, IL, September 2013; LBNL-6594E

ii

This page is intentionally left blank


1
Enabling Efficient, Responsive, and Resilient Buildings:
A Collaboration Between the United States and India
Chandrayee Basu and Girish Ghatikar Prateek Bansal

Grid Integration Group
Lawrence Berkeley National Laboratory (LBNL)
Berkeley, California, United States
CBasu@lbl.gov, GGhatikar@lbl.gov
Zanvyl Krieger School of Arts and Sciences
Johns Hopkins University
Baltimore/Washington D.C., United States
PBansal1@jhu.edu

AbstractThe United States and India have among the largest
economies in the world, and they continue to work together to
address current and future challenges in reliable electricity
supply. The acceleration to efficient, grid-responsive, resilient
buildings represents a key energy security objective for federal
and state agencies in both countries. The weaknesses in the
Indian grid system were manifest in 2012, in the countrys worst
blackout, which jeopardized the lives of half of Indias 1.2 billion
people. While both countries are investing significantly in power
sector reform, India, by virtue of its colossal growth rate in
commercial energy intensity and commercial floor space, is
better placed than the United States to integrate and test state-
of-art Smart Grid technologies in its future grid-responsive
commercial buildings. This paper presents a roadmap of
technical collaboration between the research organizations, and
public-private stakeholders in both countries to accelerate the
building-to-grid integration through pilot studies in India.
I ndex Termsresponsive, buildings, integration, Smart Grid,
international
I. INTRODUCTION
The United States and India are among the largest and
growing economies in the world, and they work together to
address current and future challenges to provide a reliable
electricity supply. While reliability of power supply is
generally not a current concern for the United States, India has
suffered from serious reliability challenges for ages. This was
manifest in the July 2012 series of blackouts. A total of
36,00048,000 megawatts (MW) of loads (~20% of the total
installed capacity [1]) was affected by the blackout [2]. The
blackout series exposed some of the major weaknesses of the
Indian electricity grid structure and operation, and that
resulted in a call for better communication and coordination
across the grid. Some of recommendations by the expert
committee included under-frequency and frequency-rate-
change (df/dt)-based load-shedding relief in the utilities
networks, faster state estimation of the system at load dispatch
centers for better visualization and planning of the corrective
actions, frequency control through generation reserves/
ancillary services, and proper telemetry and communication at
load dispatch centers. All of these issues point to the need for
development of an integrated grid system with fast and
responsive demand-side loads. The Government of India is
taking measures to address the situation of aging grid
infrastructure and integrated demand-side management.
Indias National Action Plan on Climate Change outlined a
National Mission on Enhanced Energy Efficiency with actions
for electricity sector reform. Following this, the U.S.-India
Energy Dialogue was initiated in 2009 to provide a
mechanism for joint activities to address energy issues and
electric grid integration [3]. The U.S.-India Partnership to
Advance Clean Energy (PACE) was launched in 2009 to
accelerate the transition to high-performing, low-emission,
energy-secure economies [4]. In November 2009, under
PACE-R, which is the research component of PACE, the U.S.
Department of Energy (DOE) and Indias Ministry of Science
and Technology established a Joint Clean Energy Research
and Development Center (JCERDC). Under the JCERDC, the
U.S.-India Joint Center for Building Energy Research and
Development (CBERD) was established as an international
consortium between the United States and India for research
and development of energy-efficient building technologies.
Inputs to the work presented in this paper leveraged the
research conducted by the authors for developing a roadmap
of collaboration between India and United States under the
aegis of the U.S. DOEs International Program [5] and
CBERD collaboration with the Indian partners. One objective
of CBERD is to develop a framework for the integration of
building technologies and communications for the Smart Grid
in India. The development of such a framework will benefit
technical collaboration of various public-private stakeholders
in both countries, for accelerating the development of grid-
responsive buildings through pilot studies in India. The
identification of technologies and their framework for
integration with buildings for grid-responsiveness and cost
optimization will be useful for U.S. deployments. The United
States can also benefit from understanding the need and
technical feasibility of grid-integrated technologies in building
controls, and how such systems can provide both energy
efficiency and demand-response values for cost-effective
deployments. The final goal is to conduct joint tests and pilot

2
demonstrations of in the later phases, followed by knowledge
transfer to stakeholders in both countries.
The rest of this paper is divided into three sections:
Research Methods, Results, and Discussion and Conclusion.
In the Research Methods section we present the structure of
the secondary information collection for answering our
research questions. In the Results section we identify the
priority areas for technology intervention, followed by a
description of the potential roadmap for collaboration and
technology research and deployment in India. In the
Discussion and Conclusions section we describe the
advantages of such collaboration for both countries, in terms
of broadening the spectrum of innovation, market expansion
for the Smart Grid, and strengthening bilateral ties.
II. RESEARCH METHODS
In this section we describe the methods adopted for
secondary information acquisition to answer our research
questions pertaining to building-to-grid (B2G) integration in
India. These include: (1) What is an appropriate building
sector for technology intervention in India? (2) Who are the
potential collaborators in India and the U.S. for this research?
(3) How can our work leverage other building-to-grid
activities in India undertaken by the above collaborators? (4)
Given the current state of Smart Grid development in India
and technology availability, both nationally and
internationally, what is an ideal roadmap for pilot
demonstration of grid-responsiveness?
To identify the priority area of intervention, we first tried
to understand the demand distribution in India, by building
sector, and the projected growth of energy intensity in each
sector. We then identified the key stakeholders in the
electricity market, both in India and the U.S., including
research institutions, governing bodies, private and state
utilities, service providers, and technology vendors, for
potential collaboration. Then we conducted thorough research
on relevant policies and building-to-grid projects prior to
preparing a relevant roadmap of technical collaboration. Our
primary goal was to assist in technology deployment through
expertise and experience sharing.
III. RESULTS
The scope of the B2G activities was delineated primarily
based on the expertise of the lab in understanding responsive
loads for Smart Grid deployments in the United States. This
study leverages parallel Smart Grid activities by Indian and
U.S. stakeholders. Its goal is to establish a sustainable B2G
collaboration between the U.S. and India, which will facilitate
integration of demand-side systems with supply-side systems
to advance Indias electricity reliability goals. The study will
motivate Indian electricity markets by disseminating U.S.
experiences and technologies for the uptake of demand-
response (DR) pilot studies in India. The study delineates
immediate and long-term intervention through systematic
review of issues, U.S. experiences, and technologies that
support local missions. In this section we discuss why we
chose the commercial sector as a priority area of intervention
and then describe the roadmap of collaboration for B2G
integration in India. This is followed by a survey of potential
bi-level technological intervention over a two-phase period.
A. Identify Priority Area of Intervention
The electricity deficit throughout India in 2013 is projected
to be 10.6% [6], and the present estimated peak power
shortage in the country is 11%17% [7]. The chasm between
supply and demand is constantly aggravated by rapid
development, improvement in expected lifestyle, and
explosive growth in commercial and residential floor spaces in
India [8]. About 66% of the commercial stock projected to be
in existence in India in 2030 is yet to be built [9]. Currently
the commercial, residential, and industrial sectors account for
10%, 39%, and 24%, respectively, of the total 694,392
gigawatt-hours (GWh) of energy use [10]. While commercial
sector electricity use is a smaller slice of the pie today,
electricity demand in this sector is skyrocketing at an annual
rate of 12%14% [9]. Air-conditioning alone in commercial
and domestic buildings make up ~40% of the electricity
consumption in one utilitys consumer base [11]. In
comparison, the majority of the building stock in the United
States has been built (See Figure 1). These building loads are
not responsive to the electric grid needs and are, usually,
inefficient, with high-energy consumption. The realized
potential of these buildings for peak electricity reduction and
improving electric grid reliability has been minimal, as the
cost of enabling technologies is high. India, by virtue of its
colossal growth rate in commercial energy intensity and
commercial floor space, offers an opportunity for more
affordable integration of the state-of-art grid responsive
technologies at the prime of its development.

Figure 1. 2030 floor space forecast for the commercial building sector:
India 1,900 million square meters (m
2
) and U.S. 10,340 million m
2
. India is
expected to triple its floor space by 2030. Sources: ECO III and EIA [9].
B. Roadmap for Collaboration
The technology deployment roadmap for India, presented
later, was developed based on technological gaps identified
and parallel efforts of Indian and U.S. stakeholders. Figure 2
shows a map of stakeholders and collaborators for building-to-
grid integration with specific priorities for each country. The
arrows indicate two-way communication for information flow,
knowledge transfer, test-bed sharing, and technology transfer.
The public-private entities from India (displayed on the left
side of Figure 2)the Indian Smart Grid Forum (ISGF),
Indian Smart Grid Task Force (ISGTF), Ministry of Power,
state utilities, private utilities, technology vendors, Energy
Service Companies (ESCos), and the building industrywill
provide us with national roadmaps, conducive policies and
standards, research facilities, and pilot sites and customer base

3
for testing and validation of state-of-the-art grid-responsive building technologies.

One example of a policy to promote the B2G work is
Indias National Mission for Enhanced Energy Efficiency that
stipulates a target of 19 gigawatts (GW) avoided capacity
addition and carbon dioxide (CO
2
) emission mitigation of
98 million tons per year by 20142015 [12]. For the systemic
growth of the Smart Grid in the country, the Ministry of
Power (MOP) set up the India Smart Grid Forum (ISGF) [13]
and India Smart Grid Task Force (ISGTF) [14].The Smart
Grid roadmaps by the ISGF and ISGTF have proposed to
conduct pilot studies. The peak-load management and
advanced metering infrastructure will be implemented in
ISGTFs proposed pilots.
Under the auspices of the seven working groups of the
ISGTF, several activities encompassing market-based
mechanisms for rapid Smart Grid adoption will be evaluated.
These include demand-side financing, feed-in tariffs for
individual renewable generators, and a differential tariff for
reliable supply and transmission pricing models, including
Locational Marginal Pricing (LMP) [15]. Another major
power-sector reform initiative of the Government of India is
the Restructured Accelerated Power Development and Reform
Program (R-APDRP). R-APDRP is an extension of the
Accelerated Power Development and Reform Program
(APDRP) launched by the MOP in 20002001 as a last means
for restoring the commercial viability of the Indian
Distribution Sector, which was running at an alarming
financial loss equivalent to 1.5% of the gross domestic product
[16]. Several of the R-APDRP projects that specifically
pertain to the building-to-grid integration are as follows [17]:
Consumer indexing
Metering of distribution transformers and feeders
Automatic data logging for all distribution
transformers and feeders and the Supervisory Control
and Data Acquisition (SCADA) or Distribution
Management System (DMS)
Adoption of information technology applications for
meter reading, billing, and collection
Energy accounting and auditing
Management Information System (MIS)
Redressal of consumer grievances
Establishment of consumer service centers
Load balancing
The public-private stakeholders on the U.S. side (shown on
the right side of Figure 2) like DOE, the U.S. Association for
International Development (USAID), U.S. Trade and
Development Authority (USTDA), and Smart Grid companies
will provide state-of-the-art technologies for testing and
validation and assist in pilot demonstrations through continued
task skilled labor development and funding. Within the scope
of this two-way collaborative framework, LBNL will share
with Indian partners U.S. best practices and expertise in Smart
Grid technologies and assist in development of demand-
response (DR) strategies [18], deployment of open standard-
based communication technologies like Open ADR [19] and
measurement and verification M&V protocols. The U.S.
partners will benefit from lesson learned from the pilot
demonstrations and market expansion in emerging regions. A
detailed roadmap of technology intervention for accelerating
B2G integration in India is presented in the next subsection.
Figure 2. Interaction map of CBERD/B2G project in India


4
C. Technology Roadmap
Based on the background research on Indias clean-energy
goals, Table 1 outlines the integrated framework for India,
describing the key requirements for B2G integration,
technologies, and markets. Depending on the level of B2G
integration (and, potentially, considering this as a phased
approach) necessary, the requirements are classified as basic
and advanced. The advanced level supports and expands all
the requirements of basic level.

TABLE I. REQUIREMENTS FOR BUILDING-TO-GRID INTEGRATION IN INDIA
Building-to-Grid Requirements
Demand-Side Activities Basic Advanced
Energy Efficiency
Energy Efficiency (EE) with
higher investment for retrofits.
Promote new incentive programs.
Energy-efficiency improvements with integrated
control and automation.
Installation of advanced energy-efficient systems with
considerable capital investment.
Demand Response
Link DR with standard EE
practices using semi-automated
DR with advanced or day-ahead
notification (e.g., time of day).
Apply well-studied DR
strategies.
AutoDR and advanced telemetry to communicate
price or grid reliability information in day-of or
ancillary services markets.
Aid ISGF goals for a 5% peak-load reduction target
using DR by 2017 in the twelfth Five-Year Plan for
Indias Smart Grid [20]
Building System Behavior
Encourage continuous energy
management.
Semi-automated DR strategies.
Fully automated dynamic building response to DR
signals through BMS-based controls.
Pre-programmed responses (e.g., global temperature
adjustment for HVAC).
Building Controls
Building management systems
(BMS) in commercial buildings
programmed to manage HVAC
and lighting loads for DR.
DR signals sent manually to
building managers.
Grid-integrated BMS with advanced control and
automation technologies.
Potential of increased and reliable BMS response to
DR and OpenADR integration.
Facilitate benchmarking and standardized report
formats such as Green Button [21].
Grid-Integrated Intermittent
Renewables Resources (IRR)
Install renewable resources to
supplement grid power.
Use on-site renewable generation
and electric grid reliability.
Buildings enabled to feed excess generation from
renewable resources to the grid and benefit from
credits (e.g., net metering).
Identified by ISGF as a key priority in Indias Smart
Grid Roadmap. With a target of 33% renewable
generation by 2027 [20].
Distributed Energy Resources
and Storage
Use distributed generation and
storage resources for DR and
daily peak load management.
Provide pre-cooling or load
shifting in buildings.
Intelligent coordination to use/feed excess generation
to electric grid during DR events.
Grid integration of advanced storage technologies
(e.g., batteries, thermal energy).
Microgrids
Integration of building-level
Microgrids with basic metering
technologies for accountability
and local or grid reliability.
Use on-site generation, storage to
island from grid power.
Develop advanced and community-scale micro-grids
with grid-integrated distributed energy resources.
Enable flexible DR and islanding capabilities in
response to grid signals.
Electric Vehicles (EV)
Electric vehicle (EV) charging
stations at buildings and parking
lots.
Enable charging integration with
time-of-day rate schedules.
Standards-based grid-interactive facility charging
stations (charge or discharge).
Full electric grid integration of EVs for vehicle-to-
grid (V2G) capabilities to meet 10% EV penetration
goals by 2027 [20].
Transactions and Market
Design
Facilitate buildings to access
price information from open
markets using standardized
platforms.
Standards-based market/price transactions integrated
with BMS and optimization.
Market design for transactive controls and to enable
data analytics.

5

These phased activities are determined based on initial
knowledge of the baseline methodologies and policies in India
and can be subject to further refinement through B2G
developments. The baselines provide key measurement and
verification of customer load shed to DR programs. The
phases align with those of ISGF roadmap, corresponding to
the twelfth and thirteenth plan period (20132022). This
integrated framework must expedite the integration of B2G
technologies in new commercial buildings, to enable their
participation in DR and avoid significant future retrofit costs.
The basic level of B2G integration requirements refers to:
Priorities in technology intervention based on
compatibility with onsite energy-efficiency enabling
systems and commercial product availability.
Use of existing buildings and controls to support
basic grid-integration capabilities, such as response
to time-of-day (TOD) pricing schemes and reliability
of DR programs.
Leverage ongoing pilot initiatives and relevant
policies.
Align with the short-term goals and Smart Grid
roadmaps by stakeholders such as ISGF, ISGTF,
Nexant, Tata Power, and others.
Aid pilot demonstration of semi-automated DR
technologies and strategies for commercial buildings,
as identified by the U.S. deployments [22].
The advanced level of B2G integration expands the basic
level, and refers to:

Priorities in technology intervention to maximize
transition to the Smart Grid, renewables integration,
distributed energy resources for a dynamic grid, and
flexible load.
Higher levels of automation, data collection, and
real-time processing, with a focus on grid reliability,
dynamic price responsiveness, and ancillary
services.
Upgrade or deployment of technologies to advanced
systems, controls to provide sophisticated
functionality (such as onsite generation), and
renewable energy system integration.
Stronger alignment with the long-term B2G
integration goals delineated in the national Smart
Grid roadmaps and/or missions.
Assisting regulators with policies for codes and
standards and mobilizing market transformation
grid-responsive loads for existing and new buildings.
Aiding demonstrations of advanced Auto-DR
technologies and strategies for the future B2G
integration through the U.S. experience [23], [24].
Addressing cyber security issues in communications
and interfaces pertaining to confidentiality of user
information and integrity of DR systems.
Assisting dispute resolution for unintended manual
control action, and/or faulty actions for
automated/semi-automated control schemes.
IV. DISCUSSION AND CONCLUSION
The building sector is responsible for 40% of total
energy consumption and CO
2
emissions in the United States
and is increasing faster than any other sector [25]. Commercial
buildings in the United States waste approximately one-third
of the energy they consume because of suboptimal operating
standards. These buildings consume 18% of all energy
produced in the United States. The lack of building systems
integration alone costs the United States upward of $16 billion
per year in lost efficiencies [26].
The Indian MOP launched the Bureau of Energy
Efficiency (BEE) under the first Energy Conservation and
Commercialization (ECO) project in India in 2002. This led to
the development of voluntary energy-efficiency codesthe
Energy Conservation Building Codes (ECBC) [6]. CBERD
charted out a partnership plan for energy-efficiency projects in
India. A preliminary energy-simulation-based analysis showed
that enhanced energy efficiency in buildings could lead to
annual energy savings of 60% in India [9]. The goal of the
present study was to delineate a technology roadmap to
leverage the existing energy-efficiency infrastructure in Indian
commercial buildings and extend their capabilities for a
smooth transition to grid responsiveness.
The Joint U.S.India B2G collaboration initiative can
act as a platform for LBNL and other relevant U.S.
stakeholders to share expertise in Smart Grid technologies and
apply the lessons learned from the U.S. deployments to the
Indian context (e.g., DR and DER) in an integrated fashion to
address both building-to-grid integration and energy
efficiency. The key benefits to both the countries through this
joint collaboration include:
Enhanced ties between U.S. and Indian building
energy researchers and industry;
Integrated, proven, marketable building technologies
for energy efficiency and grid responsive and
resilient loads.
Improved cost-effectiveness of technology
development through enhanced joint collaborations
that utilize the strength of both nations.
Improved capabilities for both nations to leapfrog
development of technologies and markets.

6
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